Table of Contents

1 Table of Contents Page i Table of Contents 2. Compliance and Enforcement .. 1 Overview .. 1 Compliance document registration .. 2 The Compliance and Enforcement Process .. 3 Certificate(s) of Compliance .. 4 Permit Application Certificate(s) of Compliance .. 6 Plan Check .. 10 Building Permit .. 11 Construction Phase Certificate(s) of Installation .. 11 Building Commissioning - Certificate of Compliance .. 13 Acceptance Testing Certificate(s) of Acceptance .. 14 HERS Verification Certificate of Field Verification and Diagnostic Testing .. 19 HERS Providers .. 19 HERS Raters .. 20 Verification, Testing and Sampling .. 21 Initial Model Field Verification and Diagnostic Testing .. 22 Re-sampling, Full Testing and Corrective Action .. 22 Third Party Quality Control Program (TPQCP).

2 23 For More Information .. 24 Final Inspection by the Enforcement Agency and Issuance of the Certificate of Occupancy .. 24 Occupancy Permit .. 25 Occupancy Compliance, Operating, and Maintenance Information .. 25 Compliance Documentation .. 25 Construction Documents .. 25 Signing Responsibilities .. 26 Roles and Responsibilities .. 28 Designer .. 29 Documentation Author .. 30 Builder or General Contractor .. 30 Specialty Subcontractors .. 31 Enforcement Agency .. 31 Permit Applicant .. 33 2016 Nonresidential Compliance Manual January 2017 Page ii Table of Contents Plans Examiner .. 34 Field Inspector .. 34 2016 Nonresidential Compliance Manual January 2017 Compliance and Enforcement - Overview Page 2-1 2. Compliance and Enforcement Overview Primary responsibility for compliance and enforcement with the Building Energy Efficiency Standards (Energy Standards) rests with the local enforcement agency, typically associated with a city or county government.

3 A building permit must be obtained from the local jurisdiction before the construction of: a new nonresidential or high-rise residential building, an outdoor lighting system, a sign, an addition, significant alterations (including tenant improvements) Before a permit is issued, the local jurisdiction examines the building plans and specifications for the proposed building to verify compliance with all applicable codes and standards. Verification of compliance with the Energy Standards is the responsibility of the enforcement agency's plans examiner. This is done by comparing the requirements specified on the Certificate(s) of Compliance with the building plans and specifications for the building. Once the enforcement agency has determined that the proposed building (as represented in the building plans and specifications) complies with all applicable codes and standards, a building permit may be issued at the request of the builder or the owner of the building.

4 This is the first significant milestone in the compliance and enforcement process. After building construction is complete, if the enforcement agency's final inspection determines that the building still conforms to the building plans and specifications; Certificate(s) of Compliance are approved during plan check; and it complies with all applicable codes and standards, the enforcement agency may approve the building and issue the Certificate of Occupancy. The enforcement agency's final approval is also a significant milestone. While obtaining the building permit and Certificate of Occupancy are important, the compliance and enforcement process is significantly more involved and requires participation by a number of other persons and organizations, including the architect or building designer, specialty engineers (mechanical, electrical, civil, etc.), building developers, purchasing agent, general contractor, subcontractors/installers, energy consultant, plans examiners, inspectors, realtors, the building owner, and third-party inspectors (HERS raters).

5 This chapter describes the overall compliance and enforcement process and identifies the responsibilities for each person or organization. Where the building construction is under the jurisdiction of a state agency, no construction of any state building can begin until the Department of General Services (DGS), or the state agency that has jurisdiction over the property, determines that: The construction is designed to comply with the requirements of Title 24, Part 6 (Energy Standards). The documentation requirements of 10-103(a)1 have been met (Certificate(s) of Compliance). The building plans indicate the features and performance specifications needed to comply with the Energy Standards. 2016 Nonresidential Compliance Manual January 2017 Page 2-2 Compliance and Enforcement Overview The responsible state agency must notify the Commission s Executive Director of its determination. Compliance document registration 10-103 Reference Joint Appendix JA7 Reference Nonresidential Appendix NA1 When a data registry service provider has been established, requirements for a documentation procedure called registration take effect.

6 registration documentation is required for the construction and alteration of nonresidential buildings. registration requirements are described in this chapter and elsewhere in this manual. Also, Reference Joint Appendix JA7 provides detailed descriptions of document registration procedures and individual responsibilities for registration of Certificate(s) of Compliance, Certificate(s) of Installation, and Certificate(s) of Acceptance Testing. More details regarding registration requirements are also found in Reference Nonresidential Appendix NA1. When registration is required, parties responsible for completing and submitting compliance documents (Certificate(s) of Compliance, Certificate(s) of Installation, and Certificate(s) of Acceptance) must submit the compliance document (s) electronically to an approved nonresidential data registry for registration and retention. registration of the nonresidential compliance documentation is in addition to registering Certificate(s) of Field Verification and Diagnostic Testing with an approved HERS provider data registry when HERS testing is required.

7 (See Section ) Compliance documents submitted to an approved nonresidential data registry shall be certified and signed by the applicable responsible person ( 10-103). The nonresidential data registry shall assign a unique registration number to the document (s), provided the documents are completed correctly and a certification/signature is provided by the responsible person. The registered document is retained by the nonresidential data registry and copies are made available via secure internet website access to authorized registry users. These are used to make electronic or paper copies of the registered document (s) for submittal to the enforcement agency as required, including posting copies in the field for enforcement agency inspections, and providing copies to the building owner. (See Section ) Examples of authorized registry users include energy consultants, builders, building owners, construction contractors and installers, enforcement agencies, the Energy Commission, and parties to the compliance and enforcement process that the documents support.

8 Authorized users of the nonresidential data registry will be granted read/write access rights to only the electronic data that pertains to their project(s). Note: Code compliance documents are considered public information. This chapter is organized as follows: Overview The Compliance and Enforcement Process Final Inspection by the Enforcement Agency and Issuance of the Certificate of Occupancy Compliance Documentation Roles and Responsibilities 2016 Nonresidential Compliance Manual January 2017 Compliance and Enforcement - The Compliance and Enforcement Process Page 2-3 The Compliance and Enforcement Process The process of complying with and enforcing the Energy Standards involves many parties. Those involved may include the architect or building designer, building developers, purchasing agent, general contractor, subcontractors/installers, energy consultant, plans examiners, inspectors, realtors, the building owner, and third party inspectors (HERS Raters).

9 Communication between these parties is essential for the compliance/enforcement process to run smoothly. The Energy Standards specify detailed reporting requirements that are intended to provide design, construction, and enforcement parties with information needed to complete the building process and ensure that the energy features are installed. Each party is accountable for ensuring that the building s energy features applicable to their area of responsibility are installed correctly. This section outlines and discusses the responsibilities and requirements during each phase of the compliance and enforcement process. (See Figure 2-1.) Contingent upon approval of a nonresidential data registry by the Energy Commission, all nonresidential energy compliance documents will need to be registered with a nonresidential data registry prior to submittal to an enforcement agency. (See Section ) The registration of documents prior to submittal to an enforcement agency accomplishes the requirements for the retention of a completed and signed copy of the submitted energy compliance documentation.

10 10-103 of the Energy Standards outlines the registration requirements for compliance documents. document retention is vital to compliance and enforcement follow-up actions and other quality assurance processes that help to ensure realization of energy savings from installed energy features. Although some local enforcement agencies elect to retain copies of submitted energy compliance documents, many jurisdictions do not retain these documents. Thus, the Energy Standards requirement for registration of the energy compliance documentation in a nonresidential data registry ensures that document retention is accomplished for all nonresidential construction projects. General information describing registration procedures that are specific to the design, construction, and inspection phases follow in this chapter. Refer also to Reference Joint Appendix JA7 and Reference Nonresidential Appendix NA1 for more detailed descriptions of these document registration procedures.